Financial Services

We have a strong understanding of the challenges and issues within the financial services sector.

Our timely and commercial advice addresses all aspects of the law affecting companies within the financial services sector.

Our experience includes advising on:

  • anti-money laundering;
  • crowdfunding;
  • financial product distribution;
  • financial services compliance;
  • financial services regulation and licensing;
  • investment funds and property funds;
  • non-cash payments;
  • responding to ASIC surveillance; and
  • superannuation.

Our clients include Australian Unity, Mercer, Powerwrap, Vanguard and Yarra Capital Management.

CCIVs: what are they and how do they compare with managed investment schemes?

Partner Vince Battaglia discusses some key current issues in financial services regulation.

Awards and recognition

Chambers 2023

Financial Services Regulation

Chambers Firm logo 2023 - website

Key contact

Harry New


Co-head of Investment Funds

Harry leads our financial services team and focuses extensively on financial services law and corporate advisory.

Related thinking

Financial Services| 26 Mar 2024

Has the Federal Court killed the unfair contract terms regime for insurance?

We explore this important decision and identify the implications of it for the insurance sector.

Financial Services| 25 Mar 2024

Financial Services in Focus – Issue 91

Catch up on the latest financial services news, including ASIC’s and APRA’s cross-industry information package on the Financial Accountability Regime.

Financial Services| 15 Mar 2024

Landmark decision in ASIC versus Finder Wallet: exploring legal boundaries of crypto-assets

We analyse this ruling to help you gain a deeper understanding of the implications.

Financial Services| 14 Mar 2024

Reminder: is your cleansing notice compliant with the Corporations Act?

We have observed in the market some listed companies are continuing to use outdated templates to prepare their cleansing notices, making them technically non-compliant with the Corporations Act.